前海深港现代服务业合作区金融创新的法律研究

发布时间：2018-04-09 10:25

本文选题：深港合作　切入点：前海　出处：《南京财经大学》2014年硕士论文

【摘要】：深圳与香港的经济合作,既符合国家经济战略的要求,又是作为连接内地与港澳及珠三角的核心的必然要求。由于自身地域因素的限制,香港迫切需要开发广阔的内地市场。另外在历史文化、法制环境、市场政策、经营条件等方面拥有比较强的领导能力,香港可以起到推动整个区域经济向更高层次发展的作用；在经历过高速发展之后,深圳已然成为改革开放三十多年来最成功的经济特区,现阶段正面临着缺乏国际资本及需要加快经济转型等诸多困难。正因为两地各自发展遇到了瓶颈,因此利用各自优势进行互补,推动深港彼此经济发展,实现深港一体化与深港经济圈成为两个城市的目标与动力。作为深港经济发展的基础和催化剂,金融业无疑是两地的支柱型产业。前海登上历史舞台,将进一步推动深港两地的金融合作,提高双方的合作层次。作为改革开放不断深入中的深圳特区的全新示范区,前海的发展备受人们期待。金融业无疑是打造前海深港合作平台的最大闪亮点。为了促进深港在该区金融业的融合,提高该区金融服务的高效性与便捷性,就需要营造一个科学良好的法律环境,这是目前前海所面临的重要问题。本文对深港金融合作的历史背景、合作现状、优劣因素、今后依托前海新区进行金融创新等内容进行了全方位地阐述,力求从进一步加深深港两地的金融合作等方面着手研究,在遵循WTO规则以及不违背CEPA的前提与基础上,结合本国国情,通过适当借鉴国内外金融立法的先进经验,协调内地与香港在不同政治、经济、文化格局下的法律法规,从而为明确前海金融立法的基本思路指明方向。本文从结构上分为六个部分：第一部分是绪论,从选题的背景及意义出发,介绍了国内外多种研究与现状,对论文的研究方法进行了说明,并概括了本文的创新点与不足。第二部分介绍深港金融合作的发展历程,阐述前海金融业未来的发展方向。第三部分主要分析前海金融业发展的法律环境。本章以不同法律依据为线索,并加以分别研究,并对前海金融改革创新政策进行解读。第四部分通过SWOT分析法对深港金融合作的优势与问题进行剖析,在此基础上定位于前海,论述了与上海自贸区的竞争关系及其发展的法律障碍。第五部分为借鉴国际金融立法经验。为了具体借鉴操作层面的法律法规细则,对已有国际金融中心的国内立法、国际立法及其特点作一番剖析,进而总结经验。第六部分在考虑前海发展金融业的难点和重点的基础上,在资本市场、货币市场、银行市场、保险市场方面确立前海金融立法的基本内容。
[Abstract]:The economic cooperation between Shenzhen and Hong Kong is not only in line with the requirements of national economic strategy, but also an inevitable requirement for connecting the mainland with Hong Kong and Macao and the Pearl River Delta.Due to its own geographical constraints, Hong Kong urgently needs to develop a broad mainland market.In addition, Hong Kong has relatively strong leadership in historical culture, legal environment, market policy, business conditions, and so on. Hong Kong can play a role in promoting the development of the entire regional economy to a higher level. After experiencing rapid development,Shenzhen has become the most successful special economic zone since the reform and opening up for more than 30 years. At the present stage, Shenzhen is facing many difficulties, such as lack of international capital and the need to speed up economic transformation.Because of the bottleneck in the development of the two places, using their respective advantages to complement each other, to promote the economic development of Shenzhen and Hong Kong, and to realize the integration of Shenzhen and Hong Kong and the economic circle of Shenzhen and Hong Kong have become the goal and motive force of the two cities.As the basis and catalyst for the economic development of Shenzhen and Hong Kong, the financial industry is undoubtedly the pillar industry of the two places.Stepping onto the historical stage, Qianhai will further promote the financial cooperation between Shenzhen and Hong Kong and raise the level of cooperation between the two sides.As a new demonstration area of Shenzhen Special Economic Zone, the development of Qianhai is expected by people.The financial industry is undoubtedly the biggest shining spot of the front-sea-Shenzhen-Hong Kong cooperation platform.In order to promote the integration of Shenzhen and Hong Kong in the financial sector and to improve the efficiency and convenience of financial services in this area, it is necessary to create a scientific and good legal environment, which is an important issue facing the Qianhai at present.In this paper, the historical background, current situation, advantages and disadvantages of Shenzhen-Hong Kong financial cooperation, and financial innovation based on Qianhai New area are expounded in all directions, and the research is made to further deepen the financial cooperation between Shenzhen and Hong Kong.On the basis of following the rules of WTO and not violating the premise and foundation of CEPA, combining with the national conditions, and by properly learning from the advanced experience of domestic and foreign financial legislation, we can coordinate the laws and regulations between the mainland and Hong Kong under different political, economic and cultural patterns.In order to clarify the Qianhai financial legislation of the basic ideas to point out the direction.This paper is divided into six parts from the structure: the first part is the introduction, from the background and significance of the topic, introduced the domestic and foreign various research and the present situation, has carried on the explanation to the thesis research method, and has summarized this article innovation point and the insufficiency.The second part introduces the development course of financial cooperation between Shenzhen and Hong Kong, and expounds the future development direction of Qianhai financial industry.The third part mainly analyzes the legal environment of Qianhai financial industry development.This chapter takes the different legal basis as the clue, and carries on the research separately, and carries on the interpretation to the Qianhai financial reform innovation policy.The fourth part analyzes the advantages and problems of Shenzhen-Hong Kong financial cooperation by means of SWOT analysis, on the basis of which, it discusses the competitive relationship with Shanghai Free Trade area and the legal obstacles to its development.The fifth part is to draw lessons from the experience of international financial legislation.In order to draw lessons from the detailed rules and regulations of the operation level, this paper analyzes the domestic legislation, international legislation and their characteristics of the existing international financial center, and sums up the experience.The sixth part establishes the basic content of Qianhai financial legislation in the aspects of capital market, money market, bank market and insurance market on the basis of considering the difficulties and emphases of Qianhai financial industry.
【学位授予单位】：南京财经大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D922.28

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